SEC Form 5 · accession 0001611953-16-000103
NBT BANCORP INC · NBTB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Patricia T Civil
Director
Period of report
Dec 31, 2015
Accepted (ET)
Feb 16, 2016 · 1:37 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000790359
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| NBT Bancorp Inc. Common StockF1 | Dec 31, 2015 | J | 477 | $0.00 | A | 20,426 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-Qualified Stock Option (right to buy)F2 | $18.3825 | holding | — | — | — | May 19, 2004 | May 19, 2013 | NBT Bancorp Inc. Common Stock | 600 | 600 | D |
| Non-Qualified Stock Option (right to buy)F2 | $21.74 | holding | — | — | — | May 1, 2007 | May 1, 2016 | NBT Bancorp Inc. Common Stock | 1,500 | 1,500 | D |
| Non-Qualified Stock Option (right to buy)F2 | $22.4842 | holding | — | — | — | May 1, 2008 | May 1, 2017 | NBT Bancorp Inc. Common Stock | 1,500 | 1,500 | D |
| Non-Qualified Stock Option (right to buy)F2 | $22.5508 | holding | — | — | — | May 1, 2009 | May 1, 2018 | NBT Bancorp Inc. Common Stock | 1,750 | 1,750 | D |
| Non-Qualified Stock Option (right to buy)F2 | $24.50 | holding | — | — | — | Dec 15, 2016 | Dec 15, 2024 | NBT Bancorp Inc. Common Stock | 2,130 | 2,130 | D |
Explanation of responses
- F1Shares acquired under NBT Bancorp Dividend Reinvestment Plan during period of 1/1/2015 to 12/31/2015.
- F2Pursuant to NBT Non-Employee Director, Divisional Director and Subsidiary Director Stock Option Plan grant vests 40% for first year, 20% annually for following years.